Mr. Jospin is the former Director of the Atlanta Regional Office of the U.S. Securities and Exchange Commission, where he served from February 2015 until January 2018. As Regional Director, he led over 110 lawyers, accountants, and compliance examiners in the office’s Enforcement and Examination programs, which cover Georgia, Tennessee, Alabama, North Carolina, and South Carolina. During his three-year tenure, Mr. Jospin supervised many enforcement actions relating to financial and accounting fraud, disclosure failures, audit failures, offering frauds, Ponzi schemes, violations...

James P. Galvin is the founder of Galvin Legal. He is a member of the Florida Bar and the State Bar of Georgia. He graduated from Georgia State University in Atlanta, Georgia with a Bachelor of Business Administration degree in Finance. He obtained his Juris Doctor from the University of Miami School of Law in Coral Gables, Florida. At the University of Miami, he completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office. Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow,...

J. Steven Parker has extensive experience in the areas of investment adviser and broker dealer regulation, as well as securities litigation and arbitration. As a partner in the firm’s Regulatory Practice Group, representing individuals, broker-dealers, and investment advisers in regulatory and enforcement matters. Additionally, he represents broker-dealers, registered representative and others in securities litigation and arbitration matters.Mr. Parker advises existing and start-up investment advisers, including advisers required to be registered with the Securities and Exchange Commission or with one or more state regulatory agencies. The landscape of regulation in this area of law is constantly shifting, requiring in most instances...

Patrick Zichterman, an associate attorney with Parker MacIntyre’s Regulatory Practice Group, represents individuals, broker-dealers, and investment advisers in compliance, regulatory, and enforcement matters. He received a Bachelor of Arts degree from the University of Colorado in Boulder and earned a J.D. in 2015 from the University of Georgia School of Law in Athens. During both his second and third year of law school, Mr. Zichterman interned with the Enforcement Division at the Atlanta Regional Office of the U.S. Securities and Exchange Commission, which provided him with valuable insight into the industry. While at UGA Law, Mr. Zichterman also served as...

Mr. Gort specializes in providing regulatory and compliance-related services to registered investment advisers (“RIAs”). At Parker MacIntyre, Mr. Gort manages the day to day task of keeping track of regulatory deadlines for all of the firm’s RIA clients and oversees the work of other Parker MacIntyre associates. In this role, Mr. Gort routinely drafts Investment Advisory Agreements for RIAs, disclosure documents (including Form ADV Parts 1 and 2, Form U4 and point of sale disclosures), compliance manual procedures and other ancillary documents for RIAs.

J. Michael Bishop is a partner in the Atlanta firm of Smiley Bishop & Porter LLP.
For over 25 years, Mike has practiced extensively in the areas of securities arbitration and litigation, representing investors with securities claims of all types and sizes. Mike and his firm have obtained numerous seven-figure arbitration awards which have included punitive damages, attorneys’ fees and costs. Many of Mr. Bishop’s clients are elderly investors who have been victims of investment and financial fraud.
Mike has successfully represented clients with claims against virtually every major Wall Street firm, including: Bank of America/Merrill Lynch, UBS/PaineWebber, Morgan Stanley/Dean Witter,...

Stockbroker & Investment Fraud Attorneys in Nearby Cities

Stockbroker & Investment Fraud Attorneys in Nearby Counties

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